United States Securities and Exchange Commission Decisions and Reports |
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Page 147
... Prior ( " Prior " ) for $ 19,106 . As he did with Powers , Frey appealed Prior's arbitration award to the Ohio Supreme court . Frey also sued Prior in federal court for libel and slander , and sought one million dollars in damages ...
... Prior ( " Prior " ) for $ 19,106 . As he did with Powers , Frey appealed Prior's arbitration award to the Ohio Supreme court . Frey also sued Prior in federal court for libel and slander , and sought one million dollars in damages ...
Page 1144
... Prior Offering " ) . The Official Statement for the Prior Offering contained disclosure regarding the issuer's investment pool ( the " Prior Pool " ) . On June 17 , 1994 , the County , after consultation with Costanza and other ...
... Prior Offering " ) . The Official Statement for the Prior Offering contained disclosure regarding the issuer's investment pool ( the " Prior Pool " ) . On June 17 , 1994 , the County , after consultation with Costanza and other ...
Page 1145
... Prior Offering , however , disclosed that the Prior Pool had engaged in no reverse repurchase agreements as of the end of the prior quarter and that the maximum amount of the Prior Pool's portfolio that could be pledged under reverse ...
... Prior Offering , however , disclosed that the Prior Pool had engaged in no reverse repurchase agreements as of the end of the prior quarter and that the maximum amount of the Prior Pool's portfolio that could be pledged under reverse ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
Copyright | |
Common terms and phrases
Act Rel action aff'd agreement appeal Applicants asserts broker broker-dealer capital CBOE CBOT Century Energies Commission Commissioner Committee common stock compliance conduct customers dealer December decision denied determined disciplinary disclosure DJTA DJUA e prime electric engaged England Elec FERC filed findings firm Firm's funds futures contracts hearing holding company imposed interest investment adviser investors issue Kirkpatrick law judge margin market maker markups merger Merrill Lynch Meseck Monroe Parker NASD Rules NASD's Nasdaq NationsBank NationsSecurities NYSE offering operations Paine Webber participants person Potts proceeding proposed purchase pursuant record registered representative repurchase agreements request reset responsible Revcon sanctions SCCP scienter SEC Docket Section Section 10(b Securities Exchange Act securities laws Sensormatic shares South Beloit statements subsidiary Term Trusts testified trading transactions utility violation Wolny WRG's Zubkis